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WASHINGTON — The Financial Industry Regulatory Authority (FINRA) is pleased to announce the SEC's recent approval of a FINRA rule change to limit self-trading. This change to FINRA Rule 5210 requires firms to have policies and procedures in place that are reasonably designed to review their trading activity for, and prevent, a pattern or practice of self-trades resulting from orders originating from a single algorithm or trading desk, or related algorithms or trading desks.
I am John Gannon, Senior Vice President for Investor Education with the Financial Industry Regulatory Authority, or FINRA. On behalf of FINRA, I would like to thank you for the opportunity to testify today.
The Web CRD system facilitates the collection and disbursement of fees associated with filings processed through the system. The links available on this Web Page provide important information on registration-related fees and payments, as well as guidance with the CRD Accounting functionality.
Summary
FINRA is requesting comment on potential enhancements to its short sale reporting program. FINRA is considering: (1) modifications to its short interest reporting requirements (Rule 4560); (2) a new rule to require that participants of a registered clearing agency report to FINRA information on allocations to correspondent firms of fail-to-deliver positions; and (3) other potential
Summary
In 2019, the Securities and Exchange Commission (SEC) adopted amendments1 that revise certain of the Financial and Operational Combined Uniform Single (FOCUS) reporting and annual report requirements that apply to brokers and dealers pursuant to SEA Rule 17a-52 to take account of security-based swap (SBS) activity. Further, as a result of these changes, to avoid duplication with the SEC
Executive Summary
The annual meeting of FINRA firms will take place on or about Wednesday, September 1, 2021, to elect one Large Firm Governor, one Mid-Size Firm Governor, and one Small Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or about Monday, August 2
The 2021 FINRA Annual Conference was like no other with the event held entirely online. On this episode, take a behind-the-scenes look at the fireside chat between FINRA CEO Robert Cook and FINRA Board Chair Eileen Murray as they talk about everything from return to the office to the importance of diversity, equity and inclusion.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change relating to members’ filing requirements under FINRA Rule 6432 (Compliance with the Information Requirements of SEA Rule 15c2-11).
Following consultations with the SEC staff, we temporarily withdrew from SEC consideration our rule filing establishing specialized arbitration panels for expungement requests so that we can further consider whether modifications to the filing are appropriate.
FINRA remains committed to working with the SEC and other stakeholders who share a common interest in revising the process for reviewing
Below are the zipped daily files of the Structured Product Activity Report and the Structured Product Pricing Tables. The zipped files will be available on the 1st business day of the month for the preceding months reports.
For additional information regarding the available reports, please contact TRACE Data Services at (888) 507-3665.